DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

J•• P••••••• I•••

Former SEC-registered adviserNew York, New YorkCRD 160699SEC 801-74194IAPD
Latest filing Mar 30, 2016
First filing on the tape Feb 15, 2012 · 5 filings
RAUM
$3.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
40
20 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
17
$3.9B gross assets
History
5 filings and snapshots on the tape
RAUM$3.9B as of Mar 30, 2016
Mar 26, 2013$3.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 26, 20130 then
Employees (5.A)40 as of Mar 30, 2016
Mar 26, 201339 then
Private funds17 as of Mar 30, 2016
Mar 26, 20137 then
RAUM +28% over the last fiscal year+8.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2016; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$232MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+28%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
17reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      J•• P••••••• F••• V• ••••••••• L•••no longer reportedPrivate Equity Fund$732M75Feb 15, 2012
      J•• P••••••• F••• I••• L•••no longer reportedPrivate Equity Fund$15.8M29Feb 15, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • L•••• P•••• S••••• · Chief Executive Officercontrol
        since 05/1993 · owns 75% or more
      • S•••••••• M••••••• J• · Chief Financial Officer/Chief Compliance Officer
        since 03/2001 · owns less than 5%
      Related persons
      Schedule D 7.A
      • J•• A••••••••• F••• L•••
        investment adviserpooled vehicle sponsorn
      • J•• A••••••••• I•• L•••
        investment adviserpooled vehicle sponsorn
      • J•• A••••••••• V• ••• P•••••••• L•••
        investment adviserpooled vehicle sponsorn
      • J•• A••••••••• V• ••••••••• L•••
        investment adviserpooled vehicle sponsorn
      • J•• A••••••••• V• L•••
        investment adviserpooled vehicle sponsorn
      • J•• A••••••••• V• ••••••••• L•••
        investment adviserpooled vehicle sponsorn
      • J•• A••••••••• V•• L•••
        investment adviserpooled vehicle sponsorn
      • J•• A••••••••• V••• L•••
        investment adviserpooled vehicle sponsorn
      • J•• P••••••• I•••
        investment advisernRAUM $3.9B
      • M•••••• J• S•••••••
        insurancen
      • S••••••• • C••••••• L••
        insurancen
      Advisers that list J•• P••••••• I••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 13 to 17
        Mar 30, 2015 to Mar 30, 2016
      • Advisory employees · 22 to 20
        Mar 30, 2015 to Mar 30, 2016
      • Employees · 45 to 40
        Mar 30, 2015 to Mar 30, 2016
      • Private funds · 13 to 17
        Mar 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · $3.1B to $3.9B
        Mar 30, 2015 to Mar 30, 2016
      • RAUM · $3.1B to $3.9B
        Mar 30, 2015 to Mar 30, 2016
      • Accounts · 7 to 13
        Mar 26, 2014 to Mar 30, 2015
      • Advisory employees · 21 to 22
        Mar 26, 2014 to Mar 30, 2015
      • Employees · 43 to 45
        Mar 26, 2014 to Mar 30, 2015
      • Private funds · 7 to 13
        Mar 26, 2014 to Mar 30, 2015
      • Discretionary RAUM · $2.8B to $3.1B
        Mar 26, 2014 to Mar 30, 2015
      • RAUM · $2.8B to $3.1B
        Mar 26, 2014 to Mar 30, 2015
      • Advisory employees · 19 to 21
        Mar 26, 2013 to Mar 26, 2014
      • Employees · 39 to 43
        Mar 26, 2013 to Mar 26, 2014
      • Discretionary RAUM · $3.1B to $2.8B
        Mar 26, 2013 to Mar 26, 2014
      • RAUM · $3.1B to $2.8B
        Mar 26, 2013 to Mar 26, 2014
      • Accounts · 8 to 7
        Feb 15, 2012 to Mar 26, 2013
      • Advisory employees · unset to 19.0
        Feb 15, 2012 to Mar 26, 2013
      • BD registered reps · unset to 0.0
        Feb 15, 2012 to Mar 26, 2013
      • Employees · unset to 39.0
        Feb 15, 2012 to Mar 26, 2013
      • State-registered IARs · unset to 0.0
        Feb 15, 2012 to Mar 26, 2013
      • Private funds · 8 to 7
        Feb 15, 2012 to Mar 26, 2013
      • Discretionary RAUM · $2.9B to $3.1B
        Feb 15, 2012 to Mar 26, 2013
      • RAUM · $2.9B to $3.1B
        Feb 15, 2012 to Mar 26, 2013
      • Related adviser · false to true
        Feb 15, 2012 to Mar 26, 2013
      • Related insurance company · false to true
        Feb 15, 2012 to Mar 26, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026
      Across the graphs

      J•• P••••••• I••• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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